Lance Topol
Professional summary
Lance Topol was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Lance is a previously registered financial advisor and started their career in finance in 2010. Prior to being barred, Lance had worked at 2 firms, which includes CABOT LODGE SECURITIES LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2012 - June 4, 2013
CABOT LODGE SECURITIES LLC
January 26, 2010 - November 23, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 1, 2010 - November 23, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
CABOT LODGE SECURITIES LLC
CRD#: 159712 / SEC#: , 8-69009
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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